ADVERTISEMENT
Securities / Derivatives
Market Infrastructure
HKEX May Allow Market to Remain Open During Typhoons
By Editors | 12/05/2023
A working group from HKEX and the HKMA is reportedly drafting a plan to allow trading to continue as normal during typhoons and rainstorms.
Enforcement
HSBC, Scotia Fined for Use of Unapproved Messaging Tools
By Editors | 12/05/2023
Employees, including those at senior levels and in compliance roles, used unapproved messaging tools to engage in business-related communications.
Market Infrastructure
Swap Connect – A New Addition to the Connect Family
By Chong Liew | 11/05/2023
Swap Connect will mark another milestone for Hong Kong as a “super-connector” between mainland China and the rest of the world, says Chong Liew.
Crypto / Digital Assets
30 Firms to Launch “Network of Networks” for Digital Assets
By Editors | 11/05/2023
The Canton Network will provide a decentralised infrastructure that connects independent applications like Deutsche Börse’s D7 post-trade platform and Goldman’s GS DAP.
ESG / Sustainability
ASIC Offers Guidance on Avoiding Greenwashing Penalties
By Editors | 11/05/2023
ASIC has taken 35 actions against greenwashing since July 2022. It has several other investigations underway and anticipates further regulatory action.
Capital / Liquidity
HKMA Specifies Regulatory Treatment of Swap Connect Margins
By Editors | 10/05/2023
Margins posted by banks to OTC Clear for participating in Swap Connect should be treated in the same manner as default fund contributions.
Enforcement
S. Korea: Key Suspect Detained in Stock Manipulation Case
By Editors | 10/05/2023
Ra Deok-yeon allegedly used order matching to inflate stock prices and defraud investors. Two other key suspects were also detained.
Securities / Derivatives
IOSCO Publishes Guidance on Enhancing SPAC Regulations
By Editors | 10/05/2023
The report focuses on addressing dilution risk, the protection of retail investors, and the “significant backlog” of SPACs seeking to avoid liquidation.
Securities / Derivatives
International Court Reduces Compensation Korea Has to Pay Loan Star
By Editors | 09/05/2023
The Korean government would still have to pay $216mn to US private equity firm Lone Star, despite the reduction.
Market Infrastructure
Philippine SEC Issues Guidelines on Financial Instrument Identifiers
By Editors | 09/05/2023
The SEC issued guidelines on the allocation of ISIN, CFI and FISN codes to financial instruments in the Philippines.
JOIN OUR NEWSLETTER
A daily selection of top stories from the Regulation Asia editorial team